Last Tax Season Was a Mess. Now’s Time to Prepare for This One.
If you didn’t change the tax withholding in your paycheck, you still have time to avoid another unpleasant surprise — or even a fine.
Practice Areas
Arbitration, Litigation, Mediation
With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.
Investigations, Audits and Exams
Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.
Securities Employment Issues
Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.
Recent Posts
SEC Charges Multinational Telecommunications Company With FCPA Violations
The Securities and Exchange Commission today announced that Sweden-based Telefonaktiebolaget LM Ericsson was charged with engaging in a large-scale bribery scheme involving the use of sham consultants to secretly funnel money to government officials in…
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